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Amended Article

Title：

Regulations Governing Information to be Published in Order Tickets, Trade Reports, and Reconciliation Statements Prepared by Securities Brokers Upon Receiving Orders to Buy or Sell Securities  CH

Amended Date： 2020.03.02 
Article Content Content Search Article No. Search Legal Basis Amended Article Legislative History Chinese
Article 2     The Financial Supervisory Commission is the competent authority for the purposes of these Regulations.
Article 4     An order ticket shall include the principal's name, account number, date and time of the order, type of securities, number or par value of shares, price (limit price or market price), expiration time, time in force (rest-of-day, immediate-or-cancel, fill-or-kill), account executive signature, signature of the principal, and manner in which the order is placed (by telephone, telegram, letter, or face-to-face). Notes shall also be added thereto with respect to the matters in the following subparagraphs:
  1. The manner in which the order is placed shall be specified.
  2. For orders submitted in writing or by telegram, the written message or telegram shall be affixed.
  3. Securities purchased shall, without exception, be placed in central custody; to withdraw them, an Application for Withdrawal of Deposited Securities shall be completed separately.
Article 12     Where a trading order is submitted through electronic media (such as a voice message system, the Internet, private line, or closed private network), the securities firm is not required to prepare, and not required to fill, out an order ticket on the principal's behalf, provided that it shall, on a timely basis, prepare and preserve relevant written records for verification purposes, and preserve the same for a period of at least two months following signature and/or seal by a relevant executive on a daily basis.
    The "relevant written records" under the preceding paragraph shall include the account number of the principal, order date and time, type of securities, number of shares or par value, price (limit price or market price), expiration time, time in force (rest-of-day, immediate-or-cancel, fill-or-kill), account executive code, and manner in which the order is placed, and shall be prepared in chronological order.
Article 13     These Regulations shall enter into force from the date of issuance, with the exceptions of Article 4 and Article 12, paragraph 2 as amended and issued on 2 March 2020, which shall enter into force from 23 March 2020.
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